Our Staff has compiled our research into a database of FINRA Broker Allegations.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Gerald Hoskile Adelson | 1478 | 2 | 07/16/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Irwin Jules Forman | 211278 | 1 | 07/15/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Lawrence Novak | 734086 | 1 | 07/01/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Thomas Roland Wright | 1868627 | 1 | 05/12/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| David Bond Root | 403719 | 2 | 05/04/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Robert Allen Laird | 1194436 | 1 | 04/16/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Theodore Stagg | 433193 | 9 | 04/13/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Theodore Stagg | 433193 | 9 | 04/13/1970 | Customer Dispute | Settled | $167,773.00 | $0.00 | See Allegations |
| Noel Kenneth Edwards Sr | 1436002 | 4 | 02/01/1970 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Marvin Robert Swentkofske | 2195456 | 1 | 01/01/1970 | Regulatory | Final | $0.00 | $0.00 | See Allegations |